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Code of Federal Regulations (Last Updated: November 8, 2024)

Title 17 - Commodity and Securities Exchanges

Chapter II - Securities and Exchange Commission

Part 249 - Forms, Securities Exchange Act of 1934

Subpart I - Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations

Subpart I - Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations

§ 249.801 - Form X-15AA-1, for application for registration as a national securities association or affiliated securities association.

§ 249.802 - Form X-15AJ-1, for amendatory and/or supplementary statements to registration statement of a national securities association or an affiliated securities association.

§ 249.803 - Form X-15AJ-2, for annual consolidated supplement of a national securities association or an affiliated securities association.

§ 249.819 - Form 19b-4, for electronic filings with respect to proposed rule changes, advance notices and security-based swap submissions by all self-regulatory organizations.

§ 249.820 - Form 19b-4(e) for the listing and trading of new derivative securities products by self-regulatory organizations that are not deemed proposed rule changes pursuant to Rule 19b-4(e)(§ 240.19b-4(e)).

§ 249.821 - Form PILOT, information required of self-regulatory organizations operating pilot trading systems pursuant to § 240.19b-5 of this chapter.

§ 249.822 - Form 19b-7, for electronic filing with respect to proposed rule changes by self-regulatory organizations under Section 19(b)(7)(A) of the Securities Exchange Act of 1934.